[Federal Register Volume 77, Number 52 (Friday, March 16, 2012)]
[Rules and Regulations]
[Pages 15555-15561]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-6335]
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Rules and Regulations
Federal Register
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Federal Register / Vol. 77, No. 52 / Friday, March 16, 2012 / Rules
and Regulations
[[Page 15555]]
SPECIAL INSPECTOR GENERAL FOR AFGHANISTAN RECONSTRUCTION
5 CFR Chapter LXXXIII and Part 9301
RIN 3460-AA00
Freedom of Information Act and Privacy Act Procedures
AGENCY: Special Inspector General for Afghanistan Reconstruction.
ACTION: Interim final rule.
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SUMMARY: This interim final rule establishes procedures for the public
to obtain information from the Special Inspector General for
Afghanistan Reconstruction under the Freedom of Information Act (FOIA)
and the Privacy Act of 1974. These procedures will facilitate public
interaction with SIGAR.
DATES: This interim final rule is effective March 16, 2012. Written
comments may be submitted by April 16, 2012.
ADDRESSES: You may submit comments, identified by RIN 3460-AA00 in the
subject line to Mr. Hugo Teufel, Acting General Counsel, Special
Inspector General for Afghanistan Reconstruction, 2530 Crystal Drive,
Arlington, VA 22202-3940, email: hugo.teufel.civ@mail.mil, phone (703)
545-5990, fax (703) 601-3804.
FOR FURTHER INFORMATION CONTACT: Kate Gastner, Public Information
Manager, at (703) 545-5993, email: mary.k.gastner.civ@mail.mil.
SUPPLEMENTARY INFORMATION:
I. Background
On January 28, 2008, the President signed into law the National
Defense Authorization Act for Fiscal Year 2008 (Pub. L. 110-181), which
created the Special Inspector General for Afghanistan Reconstruction
(SIGAR). In order to establish procedures to facilitate public
interaction with SIGAR, the agency is issuing interim final regulations
under the FOIA and the Privacy Act.
II. The Interim Final Rule
This interim final rule establishes procedures for SIGAR necessary
to implement the FOIA (5 U.S.C. 552) and the Privacy Act (5 U.S.C.
552a). The provisions of this subpart shall apply to all components of
SIGAR.
The FOIA provides for the disclosure of agency records and
information to the public, unless that information is exempted under
delineated statutory exemptions under the FOIA. The Privacy Act serves
to safeguard public interest in informational privacy by delineating
the duties and responsibilities of federal agencies that collect,
store, and disseminate personal information about individuals. The
procedures established here are intended to ensure that SIGAR fully
satisfies its responsibility to the public to disclose agency
information while simultaneously safeguarding individual privacy.
The Privacy Act serves to balance the Government's need to maintain
information about individuals with the rights of individuals to be
protected against unwarranted invasions of their privacy stemming from
federal agencies' collection, maintenance, use, and disclosure of
personal information about them. Agencies are required to issue
regulations outlining the agency's rules and procedures for
implementation of the Privacy Act and its provisions within the agency.
This includes procedures on how individuals may request access to
information about themselves, request amendment or correction of those
records, and request an accounting of disclosures of their records by
SIGAR.
III. Procedural Requirements
These regulations establish procedures under the FOIA and the
Privacy Act to facilitate the interaction of the public with SIGAR.
SIGAR's policy of disclosure follows the Presidential Memorandum of
January 21, 2009, ``Transparency and Openness,'' 74 FR 4685, and the
Attorney General's March 19, 2009 FOIA policy guidance, advising
Federal agencies to apply a presumption of disclosure in FOIA decision
making. This Interim Final Rule parallels the procedures currently used
by other agencies to implement the FOIA and the Privacy Act. SIGAR has
determined that good cause exists to publish these regulations as an
interim final rule. These rules establish procedures to facilitate
SIGAR's interactions with the public and the public's right to gain
access to information about SIGAR and about themselves that SIGAR
maintains. The absence of Privacy Act regulations could impair the
confidentiality and privacy rights of those who submit sensitive
information to SIGAR as well as the ability of SIGAR to use that
information to carry out its statutory mission. SIGAR has determined
that this interim rule should be issued without a delayed effective
date pursuant to 5 U.S.C. 553(d)(3).
Because no notice of proposed rulemaking is required, the
provisions of the Regulatory Flexibility Act (5 U.S.C. Chapter 6) do
not apply. It has been determined that this rulemaking is not a
significant regulatory action for the purposes of Executive Order
12866. Accordingly, a regulatory impact analysis is not required.
List of Subjects in 5 CFR Part 9301
Administrative practice and procedure, Freedom of information,
Privacy.
Authority and Issuance
For the reasons set forth above, SIGAR establishes 5 CFR Chapter
LXXXIII, consisting of part 9301 to read as set forth below.
Title 5--Administrative Personnel
CHAPTER LXXXIII--SPECIAL INSPECTOR GENERAL FOR AFGHANISTAN
RECONSTRUCTION
PART 9301--DISCLOSURE OF RECORDS AND INFORMATION
Sec.
Subpart A--Freedom of Information Act
Procedures for Disclosure of Materials or Information
9301.1 In general.
9301.2 Authority and functions.
9301.3 Organization.
Procedures
9301.4 Availability of records.
9301.5 Accessing records without request.
9301.6 Requesting records.
Costs
9301.7 Definitions.
9301.8 Fees in general.
9301.9 Fees for categories of requesters.
[[Page 15556]]
9301.10 Other charges.
9301.11 Payment and waiver.
Subpart B--Privacy Act
9301.12 Purpose and scope.
9301.13 Rules for determining if an individual is the subject of a
record.
9301.14 Requests for access.
9301.15 Access to the accounting of disclosures from records.
9301.16 Requests for copies of records.
9301.17 Requests to amend records.
9301.18 Request for review.
9301.19 Schedule of fees.
Subpart A--Freedom of Information Act
Authority: 5 U.S.C. 552; Pub. L. No. 110-175, 121 Stat. 2524
(2007); 5 U.S.C. 301 and 552; Exec. Order 12600, 52 FR 23781, 3 CFR,
1987 Comp., p. 235; Exec. Order No. 13392, 70 FR 75373-75377, 3 CFR,
2006 Comp., pp. 216-200.
Procedures for Disclosure of Records Under the Freedom of Information
Act
Sec. 9301.1 In general.
This information is furnished for the guidance of the public and in
compliance with the requirements of the Freedom of Information Act
(FOIA), 5 U.S.C. 552, as amended. This subpart should be read in
conjunction with the FOIA.
Sec. 9301.2 Authority and functions.
Section 1229 of the National Defense Authorization Act for Fiscal
Year 2008, Public Law 110-181, established the Special Inspector
General for Afghanistan Reconstruction (SIGAR). SIGAR's mission under
Sections 1229 and 842 of Public Law 110-181, is to provide independent
oversight of the treatment, handling, and expenditure of funds
appropriated or otherwise made available for the reconstruction of
Afghanistan; detect and deter fraud, waste, and abuse of U.S. funds;
and promote actions to increase program economy, efficiency, and
effectiveness.
Sec. 9301.3 Organization.
SIGAR maintains its headquarters in Arlington, Virginia, and field
offices in Kabul and elsewhere in Afghanistan.
Procedures
Sec. 9301.4 Availability of records.
SIGAR's publicly accessible records are available through SIGAR's
Electronic Reading Room on its Web site. SIGAR also provides records to
individual requesters in response to FOIA requests. SIGAR generally
withholds predecisional, deliberative documents, investigatory
materials and sensitive policy documents under 5 U.S.C. 552(b).
Sec. 9301.5 Accessing records without request.
Certain SIGAR records, including the agency's Quarterly Report,
audit reports, testimony, oversight plans, press releases and other
public issuances, are available electronically from SIGAR's homepage at
http://www.sigar.mil._ SIGAR encourages requesters to visit its Web
site before making a request for records under Sec. 9301.6.
Sec. 9301.6 Requesting records.
(a) Written requests required. For records not available as
described under Sec. 9301.5, requesters wishing to obtain information
from SIGAR should submit a written request to SIGAR's FOIA Officer.
Requests should be addressed to FOIA Officer, Office of the Special
Inspector General for Afghanistan Reconstruction, 2530 Crystal Drive,
Arlington, VA 22202. As there may be delays in mail delivery, it is
advisable to send the request via facsimile to (703) 601-3804 or by
email to sigar.pentagon.gen-coun.mbx.foia@mail.mil.
(b) Contents of requests. Requests should be as specific as
possible and should reasonably specify the records sought so that the
records can be located with a reasonable amount of effort. The request
should identify the desired record or describe it, and include
information such as the date, title or name, author, recipient, and
subject matter of the record, where possible. The request should also
include a statement of the requester's willingness to pay fees, or
request a fee waiver. The words ``FOIA REQUEST'' or ``REQUEST FOR
RECORDS'' should be clearly marked on the cover letter, letter, and/or
envelope.
(c) Response to requests--(1) Processing. The FOIA Officer shall
determine within 20 days (except Saturdays, Sundays, and federal
holidays) after receiving a request for records, whether it is
appropriate to grant or deny the request. The 20-day period may be
tolled once if the FOIA Officer requests information from the requestor
or if additional time is necessary to clarify issues with the requestor
regarding a fee assessment.
(i) Request granted. If the FOIA Officer decides to grant the
request, the FOIA Officer shall promptly provide the requester written
notice of the decision. The FOIA Officer shall include with the notice
both the requested records and a copy of the decision. The notice shall
also describe the procedure for filing an appeal.
(ii) Request denied. If the FOIA Officer denies the request, in
full or part, the FOIA Officer shall provide the requester written
notice of the denial together with the approximate number of pages of
information withheld and the exemption under which the information was
withheld. The notice shall also describe the procedure for filing an
appeal.
(2)(i) Expedited processing. At the time a requester submits an
initial request for records the requester may ask the FOIA Officer in
writing to expedite processing of the request. The request for
expedited processing must be accompanied by a written statement, which
shall state that it is true and correct to the best of the requester's
knowledge and belief, explaining why expedited processing is warranted.
The FOIA Officer shall generally grant requests for expedited
processing of requests for records, and appeals of denials under
paragraph (d)(2) of this section, whenever the FOIA Officer determines
that:
(A) Failure to obtain the requested records on an expedited basis
could reasonably pose a threat to a person's life or physical safety;
or
(B) With respect to a request made by a person primarily engaged in
disseminating information, there is an urgency to inform the public
about Government activity that is the specific subject of the FOIA
request.
(ii) The FOIA Officer shall ordinarily decide within ten calendar
days after receiving a request for expedited processing whether to
grant it and shall notify the requester of the decision. If the FOIA
Officer grants a request for expedited processing, the FOIA Officer
shall process the request as soon as practicable. If the FOIA Officer
denies a request for expedited processing, SIGAR shall act
expeditiously on any appeal of that denial.
(3) Extension for unusual circumstances--(i) In general. If the
FOIA Officer determines that unusual circumstances exist, the FOIA
Officer may extend for no more than ten days (except Saturdays, Sundays
and Federal holidays) the time limits described in paragraph (c)(1) of
this section by providing written notice of the extension to the
requester. The FOIA Officer shall include with the notice a brief
statement of the reason for the extension and the date the FOIA Officer
expects to make the determination.
(ii) Additional procedures. The FOIA Officer shall provide written
notice to the requester if the FOIA Officer decides that the
determination cannot be made within the time limit described in
paragraph (c)(3)(i) of this section. The notice shall afford the
requester an opportunity to limit the scope of the request to the
extent necessary for the
[[Page 15557]]
FOIA Officer to process it within that time limit or an opportunity to
arrange a longer period for processing the request.
(d) Appeals--(1) Initiating appeals. Requesters not satisfied with
the FOIA Officer's written decision may request SIGAR's FOIA Appellate
Authority to review the decision. Appeals must be delivered in writing
within 60 days of the date of the decision and shall be addressed to
the FOIA Appellate Authority, Office of Privacy, Records & Disclosure,
Special Inspector General for Afghanistan Reconstruction, 2530 Crystal
Drive, Arlington, VA 22202. As there may be delays in mail delivery, it
is advisable to Fax appeals to (703) 601-3804 or email to
sigar.pentagon.gen-coun.mbx.foia@mail.mil. An appeal shall include a
statement specifying the records that are the subject of the appeal and
explaining why the Appellate Authority should grant the appeal.
(2) Appeal decisions. The Appellate Authority shall ordinarily
decide the appeal within 20 days (except Saturdays, Sundays and federal
holidays) from the date it receives the appeal. If the Appellate
Authority denies the appeal in full or part, the Appellate Authority
shall promptly notify the requester in writing of the Appellate
Authority's decision and the provisions for judicial review. If the
Appellate Authority grants the appeal, the FOIA Officer shall notify
the requester in writing and shall make available to the requester
copies of the releasable records once the requester pays any fees that
SIGAR assesses under Sec. Sec. 9301.8 through 9301.10.
Costs
Sec. 9301.7 Definitions.
For purposes of this subpart:
(a) Commercial use request means a request from or on behalf of a
person who seeks information for a use or purpose that furthers the
requester's or other person's commercial, trade, or profit interests.
(b) Direct costs means those costs incurred in searching for and
duplicating (and, in the case of commercial use requests, reviewing)
documents to respond to a FOIA request. Direct costs include, for
example, salaries of employees who perform the work and costs of
conducting large-scale computer searches.
(c) Duplicate means to copy records to respond to a FOIA request.
Copies can take the form of paper, audio-visual materials, or
electronic records, among others.
(d) Educational institution means a preschool, a public or private
elementary or secondary school, an institution of graduate higher
education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, that operates a program or programs of scholarly research.
(e) Non-commercial scientific institution means an institution that
is not operated on a commercial basis and that operates solely for the
purpose of conducting scientific research the results of which are not
intended to promote any particular product or industry.
(f) Representative of the news media means any person or entity
that gathers information of potential interest to a segment of the
public, uses its editorial skills to turn the raw materials into a
distinct work, and distributes that work to an audience.
(g) Review means to examine a record to determine whether any
portion of the record may be withheld and to process a record for
disclosure, including by redacting it.
(h) Search for means look for and retrieve records covered by a
FOIA request, including by looking page-by-page or line-by-line to
identify responsive material within individual records.
Sec. 9301.8 Fees in general.
SIGAR shall charge reasonable fees that recoup the full allowable
direct costs it incurs in responding to FOIA requests. SIGAR may assess
charges for time spent searching for records even if SIGAR is unable to
locate the records or if the records are located and determined to be
exempt from disclosure. In general, SIGAR shall apply the following fee
schedule, subject to Sec. Sec. 9301.9 through 9301.11:
(a) Manual searches. Time devoted to manual searches shall be
charged on the basis of the salary of the employee(s) conducting the
search (basic hourly rate(s) of pay for the employee).
(b) Electronic searches. Fees shall reflect the direct cost of
conducting the search. This will include the cost of operating the
central processing unit for that portion of operating time that is
directly attributable to searching for and printing records responsive
to the FOIA request and operator/programmer salary attributable to the
search.
(c) Record reviews. Time devoted to reviewing records shall be
charged on the same basis as under paragraph (a) of this section, but
shall only be applicable to the initial review of records located in
response to commercial use requests.
(d) Duplication. Fees for copying paper records or for printing
electronic records shall be assessed at a rate of $.10 per page. For
other types of copies such as disks or audio visual tapes, SIGAR shall
charge the direct cost of producing the document(s). If duplication
charges are expected to exceed $25, the FOIA Officer shall notify the
requester, unless the requester has indicated in advance a willingness
to pay fees as high as those anticipated. If a requester wishes to
limit costs, the FOIA Officer shall provide the requester an
opportunity to reformulate the request in order to reduce costs. If the
requester reformulates a request, it shall be considered a new request
and the 20-day period described in Sec. 9301.6(c)(1) shall be deemed
to begin when the FOIA Officer receives the revised request.
(e) Advance payments required. (1) The FOIA Officer may require a
requester to make an advance deposit of up to the amount of the entire
anticipated fee before the FOIA Officer begins to process the request
if:
(i) The FOIA Officer estimates that the fee will exceed $250; or
(ii) The requester has previously failed to pay a fee in a timely
fashion.
(2) When the FOIA Officer requires a requester to make an advance
payment, the 20-day period described in Sec. 9301.6(c)(1) shall begin
when the FOIA Officer receives the payment.
(f) No assessment of fee. SIGAR shall not charge a fee to any
requester if:
(1) The cost of collecting the fee would be equal to or greater
than the fee itself; or
(2) SIGAR fails to comply with any time limit under the FOIA for
responding to a request for records where no unusual or exceptional
circumstances apply.
Sec. 9301.9 Fees for categories of requesters.
SIGAR shall assess fees for certain categories of requesters as
follows:
(a) Commercial use requesters. In responding to commercial use
requests, SIGAR shall assess fees that recover the full direct costs of
searching for, reviewing and duplicating records.
(b) Educational institutions. SIGAR shall provide records to
requesters in this category for the cost of duplication alone,
excluding charges for the first 100 pages. To qualify for inclusion in
this fee category, a requester must show that the request is authorized
by and is made under the auspices of a qualifying institution and that
the records are sought to further scholarly research, not an individual
goal.
(c) Representatives of the news media. SIGAR shall provide records
to requesters in this category for the cost
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of duplication alone, excluding charges for the first 100 pages.
(d) All other requesters. SIGAR shall charge requesters who do not
fall within paragraphs (a) through (c) of this section fees that
recover the full direct cost of searching for and duplicating records,
excluding charges for the first 100 pages of reproduction and the first
two hours of search time.
Sec. 9301.10 Other charges.
SIGAR may apply other charges, including the following:
(a) Special charges. SIGAR shall recover the full cost of providing
special services, such as sending records by an overnight delivery
service, to the extent that SIGAR elects to provide them.
(b) Interest charges. SIGAR may begin assessing interest charges on
an unpaid bill starting on the 31st day following the day on which the
FOIA Officer sent the billing. Interest shall be charged at the rate
prescribed in 31 U.S.C. 3717 and will accrue from the date of billing.
(c) Aggregating requests. When the FOIA Officer reasonably believes
that a requester or a group of requesters acting in concert is
attempting to divide a request into a series of requests for the
purpose of avoiding fees, the FOIA Officer shall aggregate those
requests and charge accordingly.
Sec. 9301.11 Payment and waiver.
(a) Remittances. Payment shall be made in the form of check or
money order made payable to the Treasury of the United States. At the
time the FOIA Officer notifies a requestor of the applicable fees, the
Officer shall inform the requestor of where to send the payment.
(b) Waiver. SIGAR may waive all or part of any fee provided for in
Sec. Sec. 9301.8 through 9301.9 when the FOIA Officer deems that
disclosure of the information is in the general public's interest
because it is likely to contribute significantly to public
understanding of the operations or activities of the Government and is
not primarily in the commercial interest of the requester. Requesters
may request a waiver in their initial FOIA request letter. Requests for
a fee waiver should explain how the information requested contributes
to the public's understanding of the operations or activities of the
government. In determining whether a fee should be waived, the FOIA
Officer may consider whether:
(1) The subject matter specifically concerns identifiable
operations or activities of the government;
(2) The information is already in the public domain;
(3) Disclosure of the information would contribute to the
understanding of the public-at-large as opposed to a narrow segment of
the population;
(4) Disclosure of the information would significantly enhance the
public's understanding of the subject matter;
(5) Disclosure of the information would further a commercial
interest of the requester; and
(6) The public's interest is greater than any commercial interest
of the requester.
Subpart B--Privacy Act
Authority: Privacy Act of 1974, Pub. L. 93-579, 88 Stat. 1896,
codified at 5 U.S.C. 552a(f).
Sec. 9301.12 Purpose and scope.
The purpose of this subpart is to provide certain safeguards for an
individual against the invasion of his or her personal privacy by
SIGAR. This subpart is promulgated pursuant to the requirements
applicable to all federal agencies contained in 5 U.S.C. 552a(f).
Sec. 9301.13 Rules for determining if an individual is the subject of
a record.
(a) Individuals desiring to know if a specific system of records
maintained by SIGAR contains a record pertaining to them should address
their inquiries to the Privacy Officer, Special Inspector General for
Afghanistan Reconstruction, 2530 Crystal Drive, Arlington, VA 22202. As
there may be delays in mail delivery, it is advisable to send the
request via facsimile to (703) 601-3804 or by email to
sigar.pentagon.gen-coun.mbx.privacy@mail.mil. The written inquiry
should contain a specific reference to the system of records maintained
by the SIGAR listed in the SIGAR Notice of Systems of Records, or it
should describe the type of record in sufficient detail reasonably to
identify the system of records. Notice of SIGAR systems of records
subject to the Privacy Act will be published in the Federal Register,
posted on the SIGAR public facing Web site, and copies of the notices
will be available upon request to the Privacy Officer when so
published. A compilation of such notices will also be made and
published by the Office of the Federal Register, in accordance with 5
U.S.C. 552a(f).
(b) At a minimum, the request should contain sufficient identifying
information to allow SIGAR to determine if there is a record pertaining
to the individual making the request in a particular system of records.
In instances when the requester's identification is insufficient to
ensure disclosure to the individual to whom the information pertains in
view of the sensitivity of the information, SIGAR reserves the right to
solicit from the person requesting access to a record additional
identifying information.
(c) Ordinarily the person requesting will be informed whether the
named system of records contains a record pertaining to such person
within 10 days of such a request (excluding Saturdays, Sundays and
legal Federal holidays). Such a response will also contain or reference
the procedures which must be followed by the individual making the
request in order to gain access to the record.
(d) Whenever a response cannot be made within the 10 days, the
Privacy Officer will inform the person making the request the reasons
for the delay and the date on which a response may be anticipated.
Sec. 9301.14 Requests for access.
(a) Requirement for written requests. An individual desiring to
gain access to a record pertaining to him or her in a system of records
maintained by SIGAR must submit his or her request in writing in
accordance with the procedures set forth in paragraph (b) of this
section. Individuals employed by the SIGAR may make their requests on a
regularly scheduled workday (Monday through Friday, excluding legal
Federal holidays) between the hours of 9 a.m. and 5:30 p.m. Such
requests for access by individuals employed by SIGAR need not be made
in writing.
(b) Procedures--(1) Content of the request. The request for access
to a record in a system of records shall be addressed to the Privacy
Officer at the address cited above, and shall name the system of
records or contain a concise description of such system of records. The
request should state that the request is pursuant to the Privacy Act of
1974. In the absence of such a statement, if the request is for a
record pertaining to the person requesting access which is maintained
by SIGAR in a system of records, the request will be considered under
both the Privacy Act of 1974 and the Freedom of Information Act,
depending on which would allow greater access to the records requested.
The request should contain necessary information to verify the identity
of the person requesting access (see paragraph (b)(2)(vi) of this
section). In addition, such person should include any other information
which may assist in the rapid identification of the record for which
access is being requested (e.g., maiden name, dates of employment,
etc.) as well as any other identifying information contained in and
required
[[Page 15559]]
by the SIGAR Notice of Systems of Records.
(i) If the request for access follows a prior request under Sec.
9301.1, the same identifying information need not be included in the
request for access if a reference is made to that prior correspondence
or a copy of the SIGAR response to that request is attached. If the
individual specifically desires a copy of the record, the request
should so specify under Sec. 9301.4.
(ii) [Reserved]
(2) SIGAR action on request. A request for access will ordinarily
be answered within 10 days, except when the Privacy Officer determines
otherwise, in which case the person making the request will be informed
of the reasons for the delay and an estimated date by which the request
will be answered. When the request can be answered within 10 days, it
shall include the following:
(i) A statement that there is a record as requested or a statement
that there is not a record in the systems of records maintained by
SIGAR;
(ii) A statement as to whether access will be granted only by
providing a copy of the record through the mail; or the address of the
location and the date and time at which the record may be examined. In
the event the person requesting access is unable to meet the specified
date and time, alternative arrangements may be made with the Privacy
Officer;
(iii) A statement, when appropriate, that examination in person
will be the sole means of granting access only when the Privacy Officer
has determined that it would not unduly impede the right of access of
the person making the request.
(iv) The amount of fees charged, if any (see Sec. Sec. 9301.6 and
9301.7). (Fees are applicable only to requests for copies);
(v) The name, title, and telephone number of the SIGAR official
having operational control over the record; and
(vi) The documentation required by SIGAR to verify the identity of
the person making the request. At a minimum, SIGAR verification
standards include the following:
(A) Current or former SIGAR Employees. Current or former SIGAR
employees requesting access to a record pertaining to them in a system
of records maintained by SIGAR may, in addition to the other
requirements of this section, and at the sole discretion of the
official having operational control over the record, have his or her
identity verified by visual observation. If the current or former SIGAR
employee cannot be so identified by the official having operational
control over the records, identification documentation will be
required. The employee's common access card, annuitant identification,
driver licenses, or the ``employee copy'' of any official personnel
document in the record are examples of acceptable identification
validation.
(B) Other than current or former SIGAR employees. Individuals other
than current or former SIGAR employees requesting access to a record
pertaining to them in a system of records maintained by SIGAR must
produce identification documentation of the type described in paragraph
(b)(2)(vi)(A) of this section, prior to being granted access. The
extent of the identification documentation required will depend on the
type of record for which access is requested. In most cases,
identification verification will be accomplished by the presentation of
two forms of identification. Any additional requirements will be
specified in the system of records notices published by SIGAR pursuant
to 5 U.S.C. 552a(e)(4).
(C) Access granted by mail. For records to be made accessible by
mail, the Privacy Officer shall, to the extent possible, establish
identity by a comparison of signatures in situations where the data in
the record is not so sensitive that unauthorized access could cause
harm or embarrassment to the individual to whom they pertain. No
identification documentation will be required for the disclosure to a
person making a request of information under the FOIA, 5 U.S.C. 552.
When, in the opinion of the Privacy Officer the granting of access
through the mail could reasonably be expected to result in harm or
embarrassment if disclosed to a person other than the individual to
whom the record pertains, a notarized statement of identity or some
similar assurance of identity will be required.
(D) Unavailability of identification documentation. If an
individual is unable to produce adequate identification documentation
the individual will be required to sign a statement asserting identity
and acknowledging that knowingly or willfully seeking or obtaining
access to records about another person under false pretenses may result
in a fine of up to $5,000. In addition, depending upon the sensitivity
of the records to which access is sought, the official having
operational control over the records may require such further
reasonable assurances as may be considered appropriate; e.g.,
statements of other individuals who can attest to the identity of the
person making the request.
(E) Access by the parent of a minor, or by a legal guardian. A
parent of a minor, upon presenting suitable personal identification,
may act on behalf of the minor to gain access to any record pertaining
to the minor maintained by SIGAR in a system of records. A legal
guardian may similarly act on behalf of an individual declared to be
incompetent due to physical or mental incapacity or age by a court of
competent jurisdiction, upon the presentation of the documents
authorizing the legal guardian to so act, and upon suitable personal
identification of the guardian.
(F) Granting access when accompanied by another individual. When an
individual requesting access to his or her record in a system of
records maintained by SIGAR wishes to be accompanied by another
individual during the course of the examination of the record, the
individual making the request shall submit to the official having
operational control of the record, a signed statement authorizing that
person access to the record.
(G) Granting access to individuals other than the subject of the
record. SIGAR will not disclose any record which is contained in a
system of records by any means of communication to any person, or to
another agency, except pursuant to a written request by, or with the
prior written consent of, the individual to whom the record pertains,
pursuant to the Privacy Act of 1974.
(H) Denial of access for inadequate identification documentation.
If the official having operation control over the records in a system
of records maintained by SIGAR determines that an individual seeking
access has not provided sufficient identification documentation to
permit access, the official shall consult with the Privacy Officer
prior to finally denying the individual access.
(vii) Medical records. The records in a system of records which are
medical records shall be disclosed to the individual to whom they
pertain in such manner and following such procedures as the Privacy
Officer shall direct. When SIGAR in consultation with a physician,
determines that the disclosure of medical information could have an
adverse effect upon the individual to whom it pertains, SIGAR may
transmit such information to a physician named by the individual.
(viii) Exceptions. Nothing in this section shall be construed to
entitle an individual the right to access to any information compiled
in reasonable anticipation of litigation.
[[Page 15560]]
Sec. 9301.15 Access to the accounting of disclosures from records.
Rules governing the granting of access to the accounting of
disclosures are the same as those for granting access to the records
(including verification of identity) outlined in Sec. 9301.14.
Sec. 9301.16 Requests for copies of records.
Rules governing requests for copies of records are the same as
those for the granting of access to the records (including verification
of identity) outlined in Sec. 9301.14. (See also Sec. 9301.19 for
rules regarding fees.)
Sec. 9301.17 Requests to amend records.
(a) Requirement for written requests. Individuals desiring to amend
a record that pertains to them in a system of records maintained by
SIGAR must submit their request in writing in accordance with the
procedures set forth herein unless this requirement is waived by the
official having responsibility for the system of records. Records not
subject to the Privacy Act of 1974 will not be amended in accordance
with these provisions. However, individuals who believe that such
records are inaccurate may bring this to the attention of SIGAR.
(b) Procedures. (1)(i) The request to amend a record in a system of
records shall be addressed to the Privacy Officer. Included in the
request shall be the name of the system and a brief description of the
record proposed for amendment. In the event the request to amend the
record is the result of the individual's having gained access to the
record in accordance with the provisions concerning access to records
as set forth in this paragraph, copies of previous correspondence
between the individual and SIGAR will serve in lieu of a separate
description of the record.
(ii) When the individual's identity has been previously verified
pursuant to Sec. 9301.14(b)(2)(vi), further verification of identity
is not required as long as the communication does not suggest that a
need for verification has reappeared. If the individual's identity has
not been previously verified, SIGAR may require identification
validation as described in Sec. 9301.14(b)(2)(vi). Individuals
desiring assistance in the preparation of a request to amend a record
should contact the Privacy Officer at the address cited above.
(iii) The exact portion of the record the individual seeks to have
amended should be clearly indicated. If possible, the desired proposed
alternative language should also be set forth, or at a minimum, the
facts which the individual believes are not accurate, relevant, timely,
or complete should be set forth with such particularity as to permit
SIGAR to understand the basis for the request and to make an
appropriate amendment to the record.
(iv) The request should also set forth the reasons why the
individual believes his record is not accurate, relevant, timely, or
complete. In order to avoid the retention by SIGAR of personal
information merely to permit verification of records, the burden of
persuading SIGAR to amend a record will be upon the individual. The
individual must furnish sufficient facts or credible documentation to
persuade the official in charge of the system of the inaccuracy,
irrelevancy, untimeliness, or incompleteness of the record.
(2) SIGAR action on the request. To the extent possible, a decision
upon a request to amend a record will be made within 10 days, excluding
Saturdays, Sundays, and legal Federal holidays. In the event a decision
cannot be made within this timeframe, the individual making the request
will be informed within 10 days of the expected date for a decision.
The decision upon a request for amendment will include the following:
(i) The decision of SIGAR whether to grant in whole, or deny any
part of the request to amend the record.
(ii) The reasons for the determination for any portion of the
request which is denied.
(iii) The name and address of the official with whom an appeal of
the denial may be lodged.
(iv) The name and address of the official designated to assist, as
necessary, and upon request of, the individual making the request in
the preparation of the appeal.
(v) A description of the review of the appeal within SIGAR (see
Sec. 9301.18).
(vi) A description of any other procedures which may be required of
the individual in order to process the appeal.
Sec. 9301.18 Request for review.
(a) Individuals wishing to request a review of the decision by
SIGAR with regard to an initial request to amend a record in accordance
with the provisions of Sec. 9301.17, should submit the request for
review in writing and, to the extent possible, include the information
specified in Sec. 9301.17(a). Individuals desiring assistance in the
preparation of their request for review should contact the Privacy
Officer at the address provided herein.
(b) The request for review should contain a brief description of
the record involved or in lieu thereof, copies of the correspondence
from SIGAR in which the request to amend was denied, and also should
state the reasons why the individual believes that the disputed
information should be amended. The request for review should make
reference to the information furnished by the individual in support of
his claim and the reasons, as required by Sec. 9301.17, set forth by
SIGAR in its decision denying the amendment. In order to avoid the
unnecessary retention of personal information, SIGAR reserves the right
to dispose of the material concerning the request to amend a record if
no request for review in accordance with this section is received by
SIGAR within 180 days of the mailing by SIGAR of its decision upon an
initial request. A request for review received after the 180-day period
may, at the discretion of the Privacy Officer, be treated as an initial
request to amend a record.
(c) The request for review should be addressed to the Appellate
Authority, Office of the Special Inspector General for Afghanistan
Reconstruction, 2530 Crystal Drive, Arlington, VA 22202. As there may
be delays in mail delivery, it is advisable to send the request via
facsimile to (703) 601-3804 or by email to sigar.pentagon.gen-coun.mbx.privacy@mail.mil.
(d) Final determinations on requests for reviews within SIGAR will
be made by the Appellate Authority. Additional information may be
requested by the Appellate Authority from the person requesting a
review if necessary to make a determination.
(e) The Appellate Authority will inform the person making the
request in writing of the decision on the request for review within 30
days (excluding Saturdays, Sundays and legal Federal holidays) from the
date of receipt by SIGAR of the individual's request for review, unless
the Appellate Authority extends the 30-day period for good cause. The
extension and the reasons therefore will be sent by SIGAR to the
individual within the initial 30-day period. Included in the notice of
a decision being reviewed, if the decision does not grant in full the
request for review, will be a description of the steps the individual
may take to obtain judicial review of such a decision, and a statement
that the individual may file a concise statement with SIGAR setting
forth the individual's reasons for his disagreement with the decision
upon the request for review. The SIGAR Privacy Officer has the
authority to determine the ``conciseness'' of the statement, taking
into account the scope of the disagreement and the complexity of the
issues. Upon the filing of a proper concise statement by the
individual, any subsequent disclosure of the
[[Page 15561]]
information in dispute will have the information in dispute clearly
noted and a copy of the concise statement furnished, setting forth its
reasons for not making the requested changes, if SIGAR chooses to file
such a statement. A copy of the individual's statement, and if it
chooses, SIGAR's statement, will be sent to any prior transferee of the
disputed information who is listed on the accounting required by 5
U.S.C. 552a(c).
Sec. 9301.19 Schedule of fees.
(a) Prohibitions against charging fees. Individuals will not be
charged for:
(1) The search and review of the record;
(2) Any copies of the record produced as a necessary part of the
process of making the record available for access; or
(3) Any copies of the requested record when it has been determined
that access can only be accomplished by providing a copy of the record
through the mail.
(b) Waiver. The Privacy Officer may, at no charge, provide copies
of a record if it is determined that the production of the copies is in
the interest of the Government.
(c) Fee schedule and method of payment. Fees will be charged as
provided below except as provided in paragraphs (a) and (b) of this
section.
(1) Duplication of records. Records will be duplicated at a rate of
$.10 per page for copying of 4 pages or more. There is no charge for
copying fewer pages.
(2) Where it is anticipated that the fees chargeable under this
section will amount to more than $25, the person making the request
shall be notified of the amount of the anticipated fee or such portion
thereof as can readily be estimated. In instances where the estimated
fees will greatly exceed $25, an advance deposit may be required. The
notice or request for an advance deposit shall extend an offer to the
person requesting to consult with the Privacy Officer in order to
reformulate the request in a manner which will reduce the fees, yet
still meet the needs of individuals making the request.
(3) Fees must be paid in full prior to issuance of requested
copies. In the event the person requesting is in arrears for previous
requests copies will not be provided for any subsequent request until
the arrears have been paid in full.
(4) Remittances shall be in the form either of a personal check or
bank draft drawn on a bank in the United States, or a postal money
order. Remittances shall be made payable to the order of the Treasury
of the United States and mailed or delivered to the Privacy Officer,
Office of the Special Inspector General for Afghanistan Reconstruction,
2530 Crystal Drive, Arlington, VA 22202.
(5) A receipt for fees paid will be given upon request.
Dated: March 12, 2012.
Steven J Trent,
Acting Inspector General, Special Inspector General for Afghanistan
Reconstruction.
[FR Doc. 2012-6335 Filed 3-15-12; 8:45 am]
BILLING CODE 3710-L9-P